BY
Bradford C. Yates
STEPHENS
Little Rock, AR 72201
Some features on this profile are disabled
CRD#: 1481911
BY
Professional summary
Bradford Carver Yates is a registered financial professional currently at STEPHENS located in Little Rock, Arkansas.
Bradford is registered as a RR (Registered Representative) and started their career in finance in 1986. Bradford has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Bradford Carver Yates's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 27, 2004 - Present
STEPHENS
Office #1: 111 Center Street, Little Rock, AR 72201RIA
BD
CRD#: 3496
Little Rock, AR
Past
April 8, 2003 - November 11, 2004
GCC-PROSPECT CORPORATION
BD
CRD#: 124728
FAIRFAX, VA
Past
April 21, 1997 - February 13, 2001
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
Past
March 12, 1994 - March 20, 1997
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
May 23, 1986 - February 8, 1994
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
STEPHENS
PROFESSIONAL WEALTH MANAGEMENT PROGRAM | STEPHENSCHOICE | STEPHENS, INC. | STEPHENS UNIFIED MANAGED ACCOUNT | STEPHENS SPECTRUM PROGRAM | STEPHENS SPECTRUM 401K | STEPHENS SMALL-MID CAP GROWTH PROGRAM | STEPHENS SMALL CAP GROWTH PROGRAM | STEPHENS RETIREMENT SOLUTIONS PROGRAM | STEPHENS RETIREMENT ACCESS | STEPHENS REAL RETURN STRATEGY | STEPHENS MANAGED ASSETS PROGRAM | STEPHENS INC. EQUITY RESEARCH SERVICES PROGRAM | STEPHENS INC. | STEPHENS FIXED INCOME MANAGEMENT | STEPHENS ETF SPECTRUM 401K | STEPHENS EQUITY FOCUSED STRATEGY | STEPHENS CAPITAL MANGEMENT - HEALTH MANAGEMENT TRUST | STEPHENS CAPITAL MANAGEMENT NON-DISCRETIONARY | STEPHENS CAPITAL MANAGEMENT FIXED INCOME STRATEGY | STEPHENS CAPITAL MANAGEMENT CASH MANAGEMENT TRUST PROGRAM | STEPHENS CAPITAL MANAGEMENT - PENSION MANAGEMENT TRUST PROGRAM | STEPHENS CAPITAL MANAGEMENT | STEPHENS BROKERAGE SERVICES INC. | STEPHENS ASSET MAXIMIZER PROGRAM | STEPHENS ALLOCATION STRATIGIES PROGRAM | STEPHENS ADVISOR NON-DISCRETIONARY PROGRAM | STEPHENS
CRD#: 3496 / SEC#: 801-15510, 8-1927
RIA
Registered Investment Advisory firm - SEC (9/19/1980 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/8/2005)
RR
Arizona(1/8/2008)
RR
Arkansas(7/27/2004)
RR
California(11/4/2005)
RR
Colorado(1/8/2008)
RR
Connecticut(1/3/2006)
RR
Delaware(10/21/2009)
RR
District of Columbia(1/3/2006)
RR
Florida(11/8/2005)
RR
Georgia(7/27/2004)
RR
Idaho(12/14/2012)
RR
Illinois(10/6/2008)
RR
Indiana(10/21/2009)
RR
Iowa(10/6/2008)
RR
Kansas(1/8/2008)
RR
Kentucky(10/21/2009)
RR
Louisiana(1/8/2008)
RR
Maine(11/15/2013)
RR
Maryland(1/8/2008)
RR
Massachusetts(1/8/2008)
RR
Michigan(1/8/2008)
RR
Minnesota(12/14/2012)
RR
Mississippi(1/8/2008)
RR
Missouri(12/14/2012)
RR
Montana(10/21/2009)
RR
Nebraska(1/8/2008)
RR
Nevada(1/8/2008)
RR
New Hampshire(11/15/2013)
RR
New Jersey(11/4/2005)
RR
New York(11/8/2005)
RR
North Carolina(11/9/2005)
RR
North Dakota(11/15/2013)
RR
Ohio(1/9/2008)
RR
Oklahoma(10/6/2008)
RR
Oregon(1/8/2008)
RR
Pennsylvania(1/8/2008)
RR
South Carolina(11/8/2005)
RR
South Dakota(11/15/2013)
RR
Tennessee(1/3/2006)
RR
Texas(1/8/2008)
RR
Utah(10/21/2009)
RR
Virginia(11/4/2005)
RR
Washington(10/6/2008)
RR
West Virginia(1/8/2008)
RR
Wisconsin(11/15/2013)
RR
Wyoming(10/21/2009)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STEPHENS
PROFESSIONAL WEALTH MANAGEMENT PROGRAM | STEPHENSCHOICE | STEPHENS, INC. | STEPHENS UNIFIED MANAGED ACCOUNT | STEPHENS SPECTRUM PROGRAM | STEPHENS SPECTRUM 401K | STEPHENS SMALL-MID CAP GROWTH PROGRAM | STEPHENS SMALL CAP GROWTH PROGRAM | STEPHENS RETIREMENT SOLUTIONS PROGRAM | STEPHENS RETIREMENT ACCESS | STEPHENS REAL RETURN STRATEGY | STEPHENS MANAGED ASSETS PROGRAM | STEPHENS INC. EQUITY RESEARCH SERVICES PROGRAM | STEPHENS INC. | STEPHENS FIXED INCOME MANAGEMENT | STEPHENS ETF SPECTRUM 401K | STEPHENS EQUITY FOCUSED STRATEGY | STEPHENS CAPITAL MANGEMENT - HEALTH MANAGEMENT TRUST | STEPHENS CAPITAL MANAGEMENT NON-DISCRETIONARY | STEPHENS CAPITAL MANAGEMENT FIXED INCOME STRATEGY | STEPHENS CAPITAL MANAGEMENT CASH MANAGEMENT TRUST PROGRAM | STEPHENS CAPITAL MANAGEMENT - PENSION MANAGEMENT TRUST PROGRAM | STEPHENS CAPITAL MANAGEMENT | STEPHENS BROKERAGE SERVICES INC. | STEPHENS ASSET MAXIMIZER PROGRAM | STEPHENS ALLOCATION STRATIGIES PROGRAM | STEPHENS ADVISOR NON-DISCRETIONARY PROGRAM | STEPHENS
CRD#: 3496 / SEC#: 801-15510, 8-1927
RIA
Registered Investment Advisory firm - SEC (9/19/1980 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
111 Center Street, Little Rock, AR 72201
Mailing Address
111 Center Street, Little Rock, AR 72201-3507
Phone number
(501) 377-2000
Established
Arkansas since 01/28/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
623
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SI HOLDINGS INC. | SHAREHOLDER COMMON | |
| BRADBURY, CURTIS FRANKLIN JR | VICE CHAIRMAN OF BOARD | 810347 |
| BROOKSHIRE, LAURA STEPHENS | SENIOR EXECUTIVE VICE PRESIDENT | 6513303 |
| CHANEY, DONALD LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER - BROKER DEALER/INVESTMENT ADVISOR | 4341765 |
| DORAMUS, MARK CHRISTOPHER | SENIOR EXECUTIVE VICE PRESIDENT/CFO/SECRETARY/TREASURER | 1888235 |
| EICHLER, JOSEPH BRADFORD | SR EXEC VP, CHIEF OPERATING OFFICER, DIRECTOR | 1999320 |
| HINES, ZOE ANN | EXECUTIVE VP, ASSISTANT CFO & CONTROLLER, DESIGNATED NYSE CHIEF OPERATIONS OFFICER | 709945 |
| MAYO, RACHEL ELIZABETH MONDL | EXECUTIVE VICE PRESIDENT/GENERAL COUNSEL | 7341761 |
| STEPHENS, JOHN CALHOUN | CO-CHIEF EXECUTIVE OFFICER | 5384316 |
| STEPHENS, WARREN MILES AMERINE | CO-CHIEF EXECUTIVE OFFICER | 5399161 |
Regulatory assets under management
| Total Number of Accounts | 21,784 |
| AUM (Assets Under Management) | $ 16,444,534,017 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 3 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/22/2025 | ||
| 02/07/2024 | ||
| 11/29/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
STEPHENS
CRD#: 3496Little Rock, AR 72201TRUST BUT VERIFY
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